What industries are regulated by the US SEC license?

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The full name of the SEC is the Securities and Exchange Commission. Similar to the domestic securities regulatory commission, if a company wants to be listed on the American stock exchange, it needs to be approved by the SEC of the American Securities Regulatory Commission. (Compared with the domestic CSRC, the SEC has the means of registration, that is, the SEC only examines the completeness and accuracy of the materials submitted by listed companies, further omits due diligence on listed companies, and leaves the final choice to the market. )

RIA licenses are supervised by the US Securities and Exchange Commission (SEC) or state securities departments, and companies and individuals specializing in investment consulting business need to apply for licenses. In the United States, only registered investment consultants (RIA) are qualified to provide investors with investment analysis advice on securities products and provide investment reports on a regular basis. Only institutions that have obtained this qualification can charge corresponding management fees and assume entrusted responsibilities to customers. Usually, the fund manager of an institution applying for registered investment must pass the corresponding license examination, that is, the investment consultant examination.

First, the advantages of the US SEC RIA license

1. Regulatory authority: The SEC of the US Securities Regulatory Commission is an independent quasi-judicial institution directly under the US federal government, responsible for the supervision and management of US securities, and is the senior regulatory body of the US financial and securities industry.

2. Wide business scope: Whether digital currency companies or foreign exchange platform enterprises, in order to expand their global business, build a complete trading system and attract more customers, SEC supervision is something that industry leaders must do.

3. High gold content: Jiasheng Group, Yingtong Securities, IG and FXCM, as the leaders of foreign exchange transactions, are all under the supervision of the SEC and are members of the world's largest foreign exchange dealers and listed companies.

4. High cost performance: SEC RIA license of the US Securities Regulatory Commission has no monthly dimension, no margin requirement and no pressure for later operation and maintenance. Compared with some small island licenses, it is cost-effective.

Two. Information on registering and applying for RIA license:

1, power of attorney for license;

2. Company documents:

American company registration documents;

the Articles of association of the company

Passports of directors;

Company business description report;

3. System archiving:

Fill in the license application report;

Fill in the questionnaire survey report of the SEC;

Agent? Declaration of application;

Compliance reports and other information.